Financial Advisory Suitability Assessment Form
Please complete this assessment so we can understand your financial goals, experience, and preferences and determine suitable advisory options.
Client Profile and Financial Context
Full Name
*
First Name
Middle Name
Last Name
Email Address
*
example@example.com
Phone Number
*
Please enter a valid phone number.
Format: (000) 000-0000.
Age Range
*
Under 18
18-24
25-34
35-44
45-54
55-64
65+
Employment Status
*
Employed full-time
Employed part-time
Self-employed
Unemployed
Retired
Student
Homemaker
Other
Country/Region of Residence
*
Annual Household Income Range
*
Under $25,000
$25,000-$49,999
$50,000-$74,999
$75,000-$99,999
$100,000-$149,999
$150,000-$249,999
$250,000+
Approximate Net Worth Range
*
Under $25,000
$25,000-$49,999
$50,000-$99,999
$100,000-$249,999
$250,000-$499,999
$500,000-$999,999
$1,000,000+
Financial Goals and Time Horizon
Primary financial goal(s)
*
Retirement planning
Capital growth
Income generation
Education funding
Emergency reserve
Wealth preservation
Debt reduction
Other
Investment time horizon
*
Less than 1 year
1–3 years
3–5 years
5–10 years
10+ years
Expected liquidity needs within the next 12 months
*
None expected
Low
Moderate
High
Specific financial constraints or major upcoming expenditures
Risk Tolerance and Experience Assessment
Risk tolerance level
*
Conservative
Moderate
Balanced
Growth-oriented
Aggressive
Other
Agreement with investment statements
*
Rows
Strongly disagree
Disagree
Neutral
Agree
Strongly agree
I am comfortable with market fluctuations.
1
2
3
4
5
I am willing to accept temporary losses for the potential of higher long-term gains.
6
7
8
9
10
I prefer stable returns over higher growth.
11
12
13
14
15
I tend to stay calm during short-term market volatility.
16
17
18
19
20
Investing experience level
*
No prior experience
Limited experience
Some experience
Experienced
Very experienced
Other
Familiarity with investment products
*
Stocks
Bonds
Mutual funds
ETFs
Alternatives
Other
Current Financial Position
Approximate debt level
*
None
Under $10,000
$10,000–$49,999
$50,000–$99,999
$100,000 or more
Prefer not to say
Current savings and investable assets
*
Under $25,000
$25,000–$99,999
$100,000–$249,999
$250,000–$499,999
$500,000 or more
Prefer not to say
Percentage of income typically saved or invested
*
Less than 5%
5%–9%
10%–19%
20%–29%
30% or more
Prefer not to say
Existing investment holdings or asset classes held today
Cash or cash equivalents
Bonds
Mutual funds
Exchange-traded funds
Individual stocks
Retirement accounts
Real estate
Commodities
Prefer not to say
Other
Emergency fund covering 3–6 months of expenses
*
Yes
No
Not sure
Prefer not to say
Product Preferences and Suitability Notes
Preferred investment objectives or product types
*
Conservative
Balanced
Growth
Fixed Income
Index Funds
Managed Portfolios
Retirement Accounts
Other
Ethical or sector restrictions
ESG/Sustainable Investing
No Tobacco
No Alcohol
No Gambling
No Weapons
No Fossil Fuels
Religious Restrictions
Other
Excluded industries or asset types
Individual Stocks
Mutual Funds
ETFs
Bonds
Real Estate
Commodities
Cryptocurrency
Private Equity
Derivatives
Other
Priority importance for investment outcomes
Rows
High
Medium
Low
Growth
21
22
23
Income
24
25
26
Capital Preservation
27
28
29
Liquidity
30
31
32
Advisor notes or special circumstances relevant to suitability
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